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Violation Tracker Industry Summary Page

Industry: financial services
Penalty Total since 2000$339,976,074,213
Number of Records: 6,952
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. They are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Bank of America$82,898,016,192264
JPMorgan Chase$36,107,446,133199
Citigroup$25,540,645,217156
Wells Fargo$21,881,892,841222
Deutsche Bank$18,341,457,30276
UBS$16,879,318,334102
Goldman Sachs$16,399,485,79387
NatWest Group PLC$13,515,546,85731
BNP Paribas$12,148,363,95019
Credit Suisse$10,732,400,12649

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
World Group Securities, Inc.Aegoninvestor protection violation2010AZ-CC$853,501
Titan Insurance Co.Nationwideinsurance violation2006AZ-DIFI$40,000
Moneygram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2007AZ-DIFI$125,000
Nationstar Mortgage LLCMr. Cooper Groupconsumer protection violation2008AZ-DIFI$12,500
Western Union Financial Services, Inc.Western Unionconsumer protection violation2008AZ-DIFI$2,000,000
Coast National Insurance Co.Zurich Insuranceinsurance violation2009AZ-DIFI$38,000
Chicago Title Insurance Co.Fidelity National Financialinsurance violation2010AZ-DIFI$10,000
Scottsdale Insurance Co.Nationwideinsurance violation2010AZ-DIFI$37,500
Titan Indemnity Co.Nationwideinsurance violation2010AZ-DIFI$20,000
Unigard Insurance Co.QBE Insuranceinsurance violation2010AZ-DIFI$16,000
QBE Insurance Corp.QBE Insuranceinsurance violation2010AZ-DIFI$40,000
Permanent General Assurance Corp.American Family Insuranceinsurance violation2011AZ-DIFI$70,000
Safeco Insurance Company of IllinoisLiberty Mutual Insuranceinsurance violation2011AZ-DIFI$15,000
Farmers Insurance ExchangeFarmers Insurance Exchangeinsurance violation2011AZ-DIFI$10,000
Homesite Indemnity Co.American Family Insuranceinsurance violation2011AZ-DIFI$19,000
Austin Mututal Insurance Co.American Family Insuranceinsurance violation2011AZ-DIFI$30,000
American Bankers Insurance Company of FloridaAssurantinsurance violation2011AZ-DIFI$36,000
GMAC Mortgage, LLC dba DitechAlly Financialconsumer protection violation2011AZ-DIFI$7,500
GMAC Mortgage, LLCAlly Financialconsumer protection violation2011AZ-DIFI$7,500
Accident Fund Insurance Company of AmericaAF Groupinsurance violation2012AZ-DIFI$5,000
Infinity Insurance Co.Kemperinsurance violation2012AZ-DIFI$38,000
Safeco Insurance Company of AmericaLiberty Mutual Insuranceinsurance violation2012AZ-DIFI$30,000
Midland Credit Management, Inc.Encore Capital Groupconsumer protection violation2012AZ-DIFI$750,000
John Alden Life Insurance Co.Assurantinsurance violation2013AZ-DIFI$90,000
Union Security Insurance Co.Assurantinsurance violation2013AZ-DIFI$40,000
Time Insurance Co.Haven Holdingsinsurance violation2013AZ-DIFI$60,000
Unitrin Direct Insurance Co.Kemperinsurance violation2013AZ-DIFI$9,000
Unitrin Direct Property & Casualty Co.Kemperinsurance violation2013AZ-DIFI$18,000
Mercury Casualty Co.Mercury General Corporationinsurance violation2013AZ-DIFI$19,000
United Insurance Co.Kemperinsurance violation2013AZ-DIFI$23,000
MoneyGram Payment Systems, Inc.MoneyGram Internationalconsumer protection violation2014AZ-DIFI$10,000
Foremost Insurance Company Grand Rapids, MichiganZurich Insuranceinsurance violation2015AZ-DIFI$58,000
Foremost Property & Casualty Insurance Co.Zurich Insuranceinsurance violation2015AZ-DIFI$21,000
Monumental Life Insurance Co.Aegoninsurance violation2015AZ-DIFI$57,000
Sentry Insurance A Mutual Co.Sentry Insuranceinsurance violation2015AZ-DIFI$20,000
CashCall, Inc.CashCall Inc.payday lending violation2017AZ-DIFI$250,000
American Family Connect Property and Casualty Insurance CompanyAmerican Family Insuranceinsurance violation2020AZ-DIFI$50,000
National General Insurance CompanyAllstateinsurance violation2020AZ-DIFI$75,000
Balli Aviation Ltd. and Balli Group PLCBalli Groupexport control violation2010BIS$15,000,000
CIT Group Inc.First Citizens BancSharesexport control violation2005BIS$74,800
Bank of AmericaBank of Americaexport control violation2017BIS$44,625
Bank of New York Mellon (Shanghai Branch)Bank of New York Mellonexport control violation2011BIS$30,000
JP Morgan Chase Bank, NAJPMorgan Chaseexport control violation2010BIS$19,125
Citibank NACitigroupexport control violation2018BIS$60,000
CitibankCitigroupconsumer protection violation2008CA-AG$3,500,000
CitibankCitigroupconsumer protection violation2002CA-AG$1,600,000
Edward Jones & Co.Jones Financialinvestor protection violation2008CA-AG$7,500,000
Fidelity National Title Insurance CompanyFidelity National Financialconsumer protection violation2002CA-AG$31,148,320
First American Title Insurance CompanyFirst American Financialconsumer protection violation2002CA-AG$7,000,000
Franklin/Templeton Distributors, Inc.Franklin Resourcesinvestor protection violation2004CA-AG$18,000,000
H&R BlockH&R Blockconsumer protection violation2009CA-AG$4,850,000
J.P. Morgan Chase & Co.JPMorgan Chasetoxic securities abuses2013CA-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $298,973,000
Jackson Hewitt, Inc.Jackson Hewittconsumer protection violation2007CA-AG$5,000,000
JPMorgan ChaseJPMorgan Chaseconsumer protection violation2015CA-AG$50,000,000
Morgan StanleyMorgan Stanleyinvestor protection violation2019CA-AG$150,000,000
Providian Financial Corp.JPMorgan Chaseconsumer protection violation2000CA-AG$305,500,000
Royal Bank of ScotlandNatWest Group PLCtoxic securities abuses2017CA-AG$125,000,000
Stewart Title Company of CaliforniaStewart Information Servicesconsumer protection violation2002CA-AG$2,500,000
U.S. BancorpU.S. Bancorpconsumer protection violation2005CA-AG$2,600,000
Wells FargoWells Fargomortgage abuses2010CA-AG$33,868,615
Wells FargoWells Fargoinvestor protection violation2009CA-AG$1,400,000,000
Wells Fargo BankWells Fargoprivacy violation2016CA-AG$8,500,000
HSBCHSBCFalse Claims Act and related2020CA-AG$7,000,000
Buckeye TerminalsIFM Investorsenvironmental violation2019CA-ARB$6,000
Vitol, Inc.Vitolenvironmental violation2014CA-ARB$70,000
Trafigura Beheer B.V. AmsterdamTrafiguraenvironmental violation2012CA-ARB$10,000
VitolVitolenvironmental violation2007CA-ARB$150,000
GlencoreGlencoreenvironmental violation2006CA-ARB$10,000
VitolVitolenvironmental violation2005CA-ARB$20,000
Vitol S.A.Vitolenvironmental violation2002CA-ARB$25,000
JP Morgan Chase Bank, NAJPMorgan Chaseemployment discrimination2019CA-DFEH$60,000
Household Finance Corp. of California and Beneficial California, Inc.HSBCmortgage abuses2002CA-DFPI$8,900,000
Wells Fargo Financial California, Inc.Wells Fargoconsumer protection violation2005CA-DFPI$1,621,010
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2010CA-DFPI$118,400
Allied Cash Advance California, LLCCNG Financialpayday lending violation2011CA-DFPI$103,709
RBC Capital Markets, LLCRoyal Bank of Canadainvestor protection violation2013CA-DFPI$33,520
Wells Fargo Fund Distributor, LLCWells Fargoconsumer protection violation2014CA-DFPI$8,000
Prospect Mortgage, LLCHomebridge Financial Servicesconsumer protection violation2014CA-DFPI$3,141,000
Ocwen Loan Servicing, LLCOcwen Financialconsumer protection violation2015CA-DFPI$2,500,000
CashCall, Inc.CashCall Inc.payday lending violation2015CA-DFPI$1,000,000
ACE Cash Express, Inc.ACE Cash Expresspayday lending violation2015CA-DFPI$22,500
LendingClub Corp.LendingClub Corp.investor protection violation2015CA-DFPI$46,000
PrimeLending, A PlainsCapital CompanyHilltop Holdingsconsumer protection violation2016CA-DFPI$1,619,523
SunTrust Mortgage, Inc.Truist Financialmortgage abuses2016CA-DFPI$50,000
Guaranteed Rate, Inc.Guaranteed Rate Inc.consumer protection violation2017CA-DFPI$50,000
Ocwen Loan Servicing, LLCOcwen Financialmortgage abuses2017CA-DFPI$225,000,000
Amerisave Mortgage Corp.AmeriSave Mortgageconsumer protection violation2017CA-DFPI$50,000
MLD Mortgage, Inc. dba The Money Store dba Mortgage Lending DirectMLD Mortgage Inc. dba The Money Storeconsumer protection violation2017CA-DFPI$30,000
Homebridge Financial Services, Inc.Homebridge Financial Servicesconsumer protection violation2017CA-DFPI$80,000
Bannockburn Global Forex, LLCFirst Financial Bancorp.consumer protection violation2017CA-DFPI$500,000
Nationstar Mortgage, LLC dba Mr. CooperMr. Cooper Groupconsumer protection violation2017CA-DFPI$9,118,784
Santander Consumer USA, Inc.Banco Santanderconsumer protection violation2018CA-DFPI$300,000
Ameriprise Financial Services, Inc.Ameriprise Financialinvestor protection violation2018CA-DFPI$115,000
Cash America Advance, Inc.FirstCashpayday lending violation2019CA-DFPI$10,000
SunTrust Mortgage, Inc.Truist Financialconsumer protection violation2019CA-DFPI$349,015
CitiMortgage, Inc.Citigroupconsumer protection violation2019CA-DFPI$7,800,000
OneMain Financial Group, LLCOneMain Holdingsconsumer protection violation2019CA-DFPI$150,000
Solium Financial Services LLCMorgan Stanleyinvestor protection violation2020CA-DFPI$52,047
Societe Generale Financial CorporationSociete Generalebanking violation2020CA-DFPI$10,250
Morgan Stanley Smith Barney FA Notes Holdings LLCMorgan Stanleyconsumer protection violation2020CA-DFPI$1,000,000
PHH Mortgage CorporationOcwen Financialconsumer protection violation2020CA-DFPI$62,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.